Goal 1: Establish Standardized Records Management Policies and Procedures
| Phases | Outcomes | Key Points |
|---|---|---|
| Preparation and Planning | – Comprehensive project plan including policy development timeline. – Project team established. |
– Conduct initial meetings to understand existing records management practices. – Assign roles and responsibilities for policy development. – Develop a timeline for policy drafting and approval. (Use the Blueprint Drafted Policy as a starting point) |
| Policy and Procedure Development | – Drafted policies reviewed and approved. – Policies communicated to all staff. |
– Draft records management policies following international standards. – Review drafts with key stakeholders. – Finalize and approve policies. – Communicate policies through training sessions and official communications. (Use the Blueprint Drafted Policy and adopt to your agency context) |
| System Implementation | – Policies integrated into ERMS configuration. – System supports standardized procedures. |
– Ensure ERMS configuration aligns with newly developed policies. – Test the system to ensure policy compliance. – Document system configurations that support policy implementation. (Develop the core requirement for ERMS system, use the BluePrint Guideline provided) |
| Training and Capacity Building | – Staff trained on new policies. – Continuous policy education sessions. |
– Develop training materials focused on new policies. – Conduct training sessions for all staff. – Schedule ongoing policy education sessions to reinforce compliance. (Ensure that all staff – records management and general staff are aware and informed on the record management policy details) |
| Data Security and Compliance | – Policies audited for compliance. – Compliance reports generated and reviewed. |
– Conduct regular audits to ensure adherence to policies. – Generate and review compliance reports. – Address any discrepancies or non-compliance issues immediately. (Ensure compliance to the National Data Protection Act, EU GDPR and UK GDPR and other compliance requirement) |
| Continuous Improvement | – Feedback collected on policy effectiveness. – Policies updated as needed. |
– Collect feedback from staff on policy effectiveness. – Make necessary updates to policies based on feedback. – Ensure continuous alignment with international standards. (Operational Duties will need updating to mature the staff and the processes, plan at least annual review and update improvements) |
Top 3 Must-Have Achievements for Goal 1: Establish Standardized Records Management Policies and Procedures
1. Comprehensive and Approved Policies and Procedures
Description: Develop and approve detailed records management policies and procedures that align with international standards such as ISO 15489-1:2016. These policies should cover the entire lifecycle of records, from creation to disposal, and include guidelines for both physical and electronic records.
Outcome: A complete set of policies and procedures that have been reviewed, approved, and communicated to all staff. This provides a standardized approach to records management across the organization.
2. Integration of Policies into the Electronic Records Management System (ERMS)
Description: Ensure that the ERMS is configured to support and enforce the newly developed policies and procedures. This includes setting up the system to manage records according to the defined standards and workflows.
Outcome: An operational ERMS that not only supports but also enforces compliance with the standardized records management policies, ensuring consistency and reliability in records handling.
3. Staff Training and Awareness
Description: Conduct comprehensive training sessions for all staff members to ensure they understand and can effectively implement the new policies and procedures. Ongoing education and reinforcement sessions should be planned to maintain high levels of awareness and compliance.
Outcome: A workforce that is well-trained in records management best practices, fully aware of the new policies and procedures, and capable of adhering to them in their daily tasks. This leads to improved compliance and a culture of accountability within the organization.
Detailed Key Points for Each Achievement:
1. Comprehensive and Approved Policies and Procedures
- Conduct initial assessments to understand current records management practices.
- Draft policies and procedures that address identified gaps and align with international standards.
- Review drafts with key stakeholders to gather feedback and make necessary adjustments.
- Finalize and formally approve the policies and procedures.
Indicators of Success:
- Documented policies and procedures covering all aspects of records management.
- Formal approval from relevant authorities and clear communication to all staff.
2. Integration of Policies into the ERMS
- Select and configure an ERMS that supports the organization’s records management policies.
- Ensure system configurations align with policy requirements, including metadata standards, access controls, and retention schedules.
- Conduct system testing to validate that policies are correctly enforced within the ERMS.
Indicators of Success:
- Successful configuration of the ERMS in line with policy requirements.
- Validation through testing that the system enforces compliance with records management standards.
3. Staff Training and Awareness
- Develop training materials that cover the new policies and procedures.
- Schedule and conduct training sessions for all staff members.
- Plan ongoing education and reinforcement sessions to maintain high levels of compliance.
Indicators of Success:
- High participation rates in training sessions.
- Positive feedback from staff on the training effectiveness.
- Continuous compliance monitoring showing high adherence to policies and procedures.
By achieving these top three must-haves, the organization will establish a robust foundation for standardized records management, ensuring consistency, compliance, and efficiency across all departments.
